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STIP Compass Taxonomies describing STI policy data, edition 2019

Please cite this document as:

EC-OECD (2020), STIP Compass Taxonomies describing STI Policy data, edition 2019, https://stip.oecd.org.

This document describes the structure of the 2019 EC-OECD Survey, the main data currently served in STIP Compass. It lays out the survey’s questions, followed by sections that outline the taxonomies and facets used to describe policy initiatives, their beneficiaries, and the policy instruments used.

1. The 2019 EC/OECD STIP Survey Questions

1.1. Core questions in the survey (policy themes)

Table 1 provides the classification of policy themes along with the corresponding questions included in the 2017 Survey. To reduce further the burden on countries, the number of questions has been further decreased and now stands at 50.

Table 1. Core STIP Survey questions and STIP Compass policy themes

Policy Area Policy Theme Question in the 2017 EC-OECD STI Policy Survey

Governance

Governance debates Briefly, what are the main ongoing issues of debate around how national STI policy is governed in your country?

National STI plan or strategy What strategies or plans exist, if any, to provide an overarching strategic direction to national STI policy?

Horizontal policy coordination What arrangements exist to support cross-government coordination in STI policy?

Strategic policy intelligence What arrangements or policy initiatives exist to strengthen the evidence base for STI policy-making and governance (besides evaluation and impact assessment)?

Evaluation and impact assessment What arrangements or governance structures exist to initiate, perform or encourage the use of STI evaluation and impact assessment?

International STI governance policy

What arrangements exist to support the international governance of STI policy (e.g. joint strategies and agreements, horizontal coordination or regulatory oversight bodies)?

Public research system

Public research debates Briefly, what are the main ongoing policy debates around government support for your country’s public research system?

Public research strategies What strategies, roadmaps or plans exist, if any, to provide strategic direction to national research policy?

Competitive research funding What are the main competitive schemes and programmes for funding research in universities and public research institutes?

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Non-competitive research funding What are the main non-competitive schemes and programmes for funding research in universities and public research institutes?

Third-party funding What policy initiatives exist to promote third-party funding of public research?

Structural change of the public research system

What policy initiatives exist, if any, to support or lead structural changes in the public research system?

Open science and enhanced access to publications and research data

What policy initiatives exist to support open science and enhanced access to publications and research data?

Research infrastructures and large equipment

What are the main policy initiatives for funding new and existing research infrastructures and large equipment?

Internationalisation in public research What are the main policy initiatives for promoting internationalisation in public research?

Interdisciplinary research What are the main policy initiatives for promoting interdisciplinary research?

High risk research What policy initiatives exist, if any, offering dedicated support to high-risk research?

Research integrity and reproducibility What are the main policy initiatives for promoting research integrity and reproducibility?

Embedding sex- and gender-specific analysis in research

What policy initiatives exist to incorporate sex and gender specificities in research content (e.g. questioning gender assumptions in research methods)?

Innovation in firms and innovative

entrepreneurship

Business innovation policy debates Briefly, what are the main ongoing policy debates around government support to business innovation and innovative entrepreneurship?

Business innovation policy strategies What strategies or plans exist, if any, to strategically direct national policy on business innovation and/or innovative entrepreneurship?

Financial support to business R&D and innovation

What are the main policy initiatives for providing financial support to business R&D and innovation?

Non-financial support to business R&D and innovation

What are the main policy initiatives for providing non-financial support to business R&D and innovation?

Access to finance for innovation What policy initiatives exist to promote firms' access to finance for innovation?

Entrepreneurship capabilities and culture

What policy initiatives exist to foster a spirit and culture of entrepreneurship in business or in individuals and to provide them with appropriate skills?

Stimulating demand for innovation and market creation

What policy initiatives exist to stimulate demand for firms' innovations and to support market creating innovation?

Digital transformation of firms What policy initiatives exist, if any, to help firms upgrade their organisational and technological capabilities to undergo digital transformation?

Foreign direct investment What policy initiatives exist to attract knowledge-intensive foreign direct investment and promote transfers to domestic firms?

Targeted support to SMEs What are the main policy initiatives specifically targeting research and innovation activities in SMEs?

Targeted support to young innovative enterprises

What policy initiatives exist to provide support services to young innovative enterprises and start-ups?

Science-industry knowledge

transfer and sharing

Transfer and linkages debates Briefly, what are the main ongoing policy debates around national policy for science-industry knowledge transfer and sharing?

Transfer and linkages strategies What strategies or plans exist, if any, to strategically direct national policy on knowledge transfer and linkages?

Collaborative research and innovation What are the main policy initiatives for promoting collaboration and co-creation for research and innovation?

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Cluster policies What policy initiatives exist to promote geographical and/or thematic innovative clusters?

Commercialisation of public research results

What policy initiatives exist to encourage commercialisation of public research results?

Intersectoral mobility What policy initiatives exist to encourage mobility of human resources between the public and private sectors?

Intellectual property rights in public research

What policy initiatives exist to ensure intellectual property rights in public research are conducive to promoting innovation?

STI human resources debates Briefly, what are the main ongoing policy debates around government support for human resources for research and innovation?

Human resources for research and

innovation

STI human resources strategies What national strategies or plans exist, if any, to foster human resources for research and innovation in your country?

STEM skills What are the main policy initiatives for nurturing general STEM skills?

Doctoral and postdoctoral researchers

What policy initiatives exist to specifically support doctoral and postdoctoral research and education?

Research careers What policy initiatives exist to make research careers more attractive?

Digital skills for researchers What policy initiatives exist, if any, to help ensure researchers will have the necessary skills to drive and reap the benefits of the digitalisation of science?

International mobility of human resources

What policy initiatives exist to encourage international mobility of the highly skilled?

Gender balance and inclusiveness What policy initiatives exist to promote the participation of women and other under-represented groups in research and innovation activities?

Research and innovation for

society

Policy debates on innovation for societal challenges

Briefly, what are the current main policy debates around how national policy for research and innovation can help address societal challenges? If applicable, please elaborate on how the Sustainable Development Goals (SDGs) are being incorporated into STI policy design and implementation.

Research and innovation for society strategy

What strategies or plans exist, if any, to promote innovation for societal well-being and cohesion?

Research and innovation for developing countries

What policy initiatives exist, if any, specifically dedicated to supporting research and innovation in developing and less advanced countries?

Multi-stakeholder engagement What policy initiatives exist to promote a broad and diversified public engagement in research and innovation activities and policy making?

Science, technology and innovation culture

What are the main policy initiatives for raising awareness in STI activities across society at large?

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1.2. Additional questions module (policy themes)

In the 2017 edition of the survey, there were two additional “modular policy areas”: Digitalisation (seven questions) and ERA-related initiatives (eight questions). These “one-off” modules (specific to an edition of the survey) were included to cover policy issues of particular interest to ongoing EC and OECD projects and priorities and will not be included in the 2019 edition of the survey. Instead a single module of seven questions on “Emerging trends in STI policy” has been added (Table 2).

Table 2. Additional questions module for the 2019 survey and corresponding STIP Compass policy themes

Module name Policy Theme Question in the 2019 EC-OECD STI Policy Survey Prefill from 2017

question?

Emerging trends in STI

policy

Guiding visions Briefly, looking out at least 10 years into the future, what long-term guiding visions shape STI policymaking today in your country?

No

Biotechnology flagships

What flagship policy initiatives exist, if any, specifically dedicated to supporting research and innovation in industrial biotechnology?

No

Nano and converging technology flagships

What flagship policy initiatives exist, if any, specifically dedicated to supporting research and innovation in nanotechnology and converging technologies?

No

Artificial intelligence (AI)

What strategies (or plans, roadmaps) and other types of policy initiatives, if any, make up your national AI policy?

2017 module question on artificial intelligence

Ethics of emerging technologies

What policy initiatives exist, if any, to address ethical challenges raised by emerging technologies (e.g. artificial intelligence, neuro-technology, gene editing)?

No

Policy experiments

What policy initiatives, if any, introduce formal policy experimentation to test novel approaches and/or methods for STI policy design and/or implementation (e.g. randomised control trials, pilots and testbeds)?

No

Mission-oriented innovation policies

What policy initiatives, if any, coordinate and target cross-government policy measures to address complex societal challenges (e.g. climate change)?

No

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2. The 2019 EC/OECD STIP Survey Taxonomies and Facets

2.1. Policy initiative fiche (unit of reporting)

Table 3 lists the policy initiative fiche’s fields and describes the type of data collected. In the 2017 edition, this fiche was composed of 15 fields, of which only seven were mandatory. The 2019 edition has an additional field “Policy initiative is a structural reform”, which allows for the reporting of one-off reforms, e.g. legislation or the creation/reform of a ministry, that do not have an end date.

Table 3. Fields in the Policy Initiative Fiche in the 2017 EC-OECD STI Policy Questionnaire

Field title Type of field

Name in English* (free text)

Name(s) in original language (multiple free text fields, one per name)

Acronym (free text)

Start date* (year)

Policy initiative is a structural reform (yes/no; if yes, the next field is disabled)

End date (year)

Short description* (free text)

Objectives* (multiple free text fields, one per objective)

Background including shifts in the policy initiative (free text)

Type(s) of policy instruments* (multiple choice selection)

Direct beneficiaries* (multiple choice selection)

Name of responsible organisation(s)* (multiple free text fields, one per organisation)

Estimated budget expenditure range per year* (multiple choice selection)

Internet link(s) (multiple free text fields, one per link)

Evaluated (yes/no)

Link to evaluation (free text)

Note: * Indicates the field is mandatory.

2.2.Direct beneficiaries

Table 4 includes the list of beneficiaries that can be indicated in the policy initiative fiche. The table classifies them in categories used in the questionnaire interface and in the STIP Compass portal. When submitting policy information, this classification allows the list to be more easily browsed when entering the data in the questionnaire interface. Likewise, in STIP Compass, this grouping also allows the data to be aggregated and summarised in visualisations. The list of beneficiaries of the 2017 edition of the survey was for the large part left unchanged in the 2019 edition. The main improvement is the reordering of categories to place the most frequent beneficiaries (target groups) higher up in the list for an easier selection in the online questionnaire tool.

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Table 4. Direct beneficiaries (target group) taxonomy

Category Direct beneficiaries (target group) Research and education organisations Higher education institutes Public research institutes Private research and development lab Researchers, students and teachers Established researchers Postdocs and other early-career researchers Undergraduate and master students Secondary education students PhD students Teachers Firms by size Firms of any size Micro-enterprises SMEs Large firms Multinational enterprises Firms by age Firms of any age Nascent firms (0 to less than 1 year old) Young firms (1 to 5 years old) Established firms (more than 5 years old) Intermediaries Incubators, accelerators, science parks or technoparks Technology transfer offices Industry associations Academic societies / academies Governmental entities International entity National government Subnational government Economic actors (individuals) Entrepreneurs Private investors Labour force in general Social groups especially emphasised Women Disadvantaged and excluded groups Civil society

2.3. Policy instruments

Table 5 lists and classifies the policy instruments survey respondents can associate to policy initiatives. This table classifies instruments using a functional approach, though many other

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classifications are possible (e.g. by the aforementioned themes and by target group). This classification aims to be straightforward to use in the questionnaire, providing a list of innovation policy instruments that follow OECD literature and that capture the data countries have submitted in prior editions of the STIP Survey. The main improvements in the 2019 edition of the survey is the creation of the “Regulatory oversight and ethical advice bodies” and “Emerging technology regulation” policy instruments to better collect data on regulatory aspects. In addition, the most frequently used instruments are now placed higher up in the list to facilitate selection in the online questionnaire tool.

Table 5. Policy instruments taxonomy

Category Instrument

Governance

National strategies, agendas and plans

Creation or reform of governance structure or public body

Policy intelligence (e.g. evaluations, reviews and forecasts)

Formal consultation of stakeholders or experts

Horizontal STI coordination bodies

Regulatory oversight and ethical advice bodies

Standards and certification for technology development and adoption

Public awareness campaigns and other outreach activities Direct financial support

Institutional funding for public research

Project grants for public research

Grants for business R&D and innovation

Centres of excellence grants

Procurement programmes for R&D and innovation

Fellowships and postgraduate loans and scholarships

Loans and credits for innovation in firms

Equity financing

Innovation vouchers Indirect financial support

Corporate tax relief for R&D and innovation

Tax relief for individuals supporting R&D and innovation

Debt guarantees and risk sharing schemes Collaborative infrastructures (soft and physical)

Networking and collaborative platforms

Dedicated support to research infrastructures

Information services and access to datasets Guidance, regulation and incentives

Technology extension and business advisory services

Emerging technology regulation

Labour mobility regulation and incentives

Intellectual property regulation and incentives

Science and innovation challenges, prizes and awards

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The tables below introduce facets (descriptive characteristics) for each policy instrument. Note that a highlighted facet indicates that multiple selections are possible.

GOVERNANCE

1. National strategies, agendas and plans Facet Facet choices

Focuses on the following area(s) of the national innovation system

Research Business (innovation and/or entrepreneurship) Education and skills Governance Other

Foresight exercise included Yes No

Strategy mainly prioritises Note: for each selection that is made, we would like there to be two additional non-mandatory fields: i) Quantifiable target (if set by the strategy): (short open text field) ii) Deadline for achieving target: (year selection) Example, if ‘Environmental challenges’ is selected: Quantifiable target 1: R&D investment in clean technologies of 100 M€ Deadline 1: 2021 Quantifiable target 2: CO2 emissions reduced by 10% Deadline 2: 2022

STI policy governance (e.g. vertical and horizontal coordination, evaluation) R&D intensity (e.g. GERD as a % of GDP) Clusters and regional support (including regional/local R&D investments) Specific areas/sectors (e.g. new industrial policy, R&D targets for clean tech) Business innovation and innovative entrepreneurship Access to finance for innovation (e.g. venture capital, business angels, financial markets) Public research capabilities

Digitalisation

Skills for research and innovation

Technology transfers and commercialisation

Societal challenges (e.g. social inclusiveness)

Environmental challenges (e.g. sustainability)

International cooperation on STI

Stakeholder participation and consultation

Other

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Specific business sector(s) targeted None specifically targeted

Agriculture

Mining and quarrying

Food

Energy

Electronics

Pharmaceuticals

Automotive and road transportation

Marine

Aerospace

Education

Health and healthcare

Telecommunications and IT

Finance

Defence

Public administration

Other primary industries

Other manufacturing Other services

Societal challenge(s) emphasised None specifically emphasised

Health

Ageing populations

Inclusiveness (e.g. inequality, job insecurity) Food security Energy security Climate change

Environmental sustainability Other Degree of coordination in implementing strategy (select the highest that applies)

1- Strategy communicated to public bodies 2- Public bodies are expected to plan activities based on strategy 3- Strategy provides recommendations to public bodies which they

have to adopt or reject via formal procedures 4- Strategy dictates public bodies’ activities or budgets

Follow-up mechanism

Action plan

Dedicated budget allocations

Linked to new law or regulation

Periodic monitoring and/or evaluation of progress

Dedicated coordinating/monitoring public body

None

Other

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2. Creation or reform of governance structure or public body Facet Facet choices

Description of changes in institutional arrangements (free long text)

3. Policy intelligence (e.g. evaluations, benchmarking and forecasts) Facet Facet choices

Type of information

Evaluations

Forecasting and foresight studies

Reviews

Technology assessments

Roadmaps

Scoreboards, indicators and benchmarking

Other

Provides input to

Problem definition

Policy objective formulation

Policy design

Policy implementation

Policy assessment

Other

Study performed by

Public administration

Public research institute

Academia

Private firms or consultants

Civil society organisation

Intergovernmental organisation

Other

4. Formal consultation of stakeholders or experts Facet Facet choices

Stakeholders contribute to Problem definition Policy objective formulation Policy design Policy implementation Policy assessment Other

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Method Online survey Offline survey Conferences and public hearings Participatory workshops and seminars Focus groups Interviews Expert groups Online discussion fora Other

Number of participants Less than 25 25 to 100 101 to 250 More than 250

5. Horizontal STI coordination bodies Facet Facet choices

Type of coordinating public body Ministry Coordination or advisory council / committee Agency (e.g. research council, innovation agency)

Ad-hoc working group or network of representatives Other

Reports to

International organisation (e.g. European Commission, UNESCO)

Head of national government Ministry Legislative branch (e.g. parliament)

Agency / council Other

As mechanisms, the coordination body Provides opportunities for ministries and/or public bodies to meet

Provides opportunities to involve non-state stakeholders Undertakes studies scoped jointly by ministries Identifies and arbitrates policy divergences Issues specific recommendations to ministries Implements joint programming Decides budget allocations

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Sectors of public administration involved Science, technology and innovation Economic affairs Education Finance

Transport and infrastructure Environment Energy Culture Defence Foreign affairs Labour Agriculture Justice Social affairs

Health Other

The coordination body is composed of Government representatives Academia representatives Business representatives Civil society representatives

A technical secretariat (e.g. STI policy analysts)

Discussions or reports are publicly available Yes No

6. Regulatory oversight and ethical advice bodies Facet Facet choices

Type(s) of oversight or advice Fundamental rights Ethical principles (e.g. integrity, accountability, impartiality) Guidelines

Regulations Other

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Challenge(s) addressed

Risks to human safety

Environmental sustainability

Privacy protection

Social disruption (e.g. job insecurity)

Unethical use (e.g. dual-use technologies)

Security (e.g. discrimination)

Limited competition (e.g. monopolies, oligopolies)

Other

Activities

Monitor compliance

Provide formal input to policymakers

Provide guidance, advice and support to stakeholders Gather opinions from stakeholders on ethical principles, regulation

improvements, etc. Provide expert ethical opinion

Engage in long-term technology assessment

Identify areas of oversight reform Cross-government coordination in developing/adopting guidelines,

regulations, etc. Setting and adopting international standards

Other

Reports to

International organisation (e.g. European Commission, UNESCO)

Head of national government

Ministry

Legislative branch (e.g. parliament)

Agency / council

None (independent body)

Other

The coordination body is composed of Mostly government representatives Mostly academia representatives Mostly business representatives Mostly civil society representatives

A technical secretariat (e.g. policy analysts)

A mix / other (please describe)

Reports are publicly available Yes No

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7. Standards and certification for technology development and adoption Facet Facet choices

Geographical dimension National International

Objective(s)

Compatibility and interoperability Variety reduction Quality and performance Other

Standards developed through

Dedicated national public body/bodies

Multi-stakeholder platforms and fora

Financial support to public research and commercialisation

Other

Adoption fostered by

Legislation (e.g. product market regulation)

Guidelines Eligibility criteria for public funding (e.g. grants, tax relief and

procurement) Business advisory services (e.g. consulting and training)

Collaborative platforms

Information services and databases

Public outreach activities (e.g. awareness campaigns)

Other The following services associated to the standards have public support

Measurement

Certification

Training

None of the above

Other

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8. Public awareness campaigns and other outreach activities Facet Facet choices

Medium Public events

School campaigns

Conferences, workshops and/or training courses Museums Television Radio Competitions Printed publications Websites

Social media

Science fairs

Open days (e.g. visits to universities or energy plants) Other

Aspect(s) being promoted Science Entrepreneurship Technology Innovation Research careers

Skills for STEM

Gender equality Other

DIRECT FINANCIAL SUPPORT

9. Institutional funding for public research Facet Facet choices

Funding includes a teaching component

Yes No

Performance-based element to the allocation Yes

No

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Criteria for funding

Research publications and outputs (excellence) Research impact Student enrolment or attainment rates Total staff Research-active staff

Number of co-publications

R&D expenditure Research infrastructure Commercialisation of research-generated intellectual property Employability of graduates Scientific partnerships and collaborations

Social inclusion (e.g. women and other under-represented groups) of student and research staff

Alignment with national research priorities

Budget allocated to institution in previous years Other

Funding is attached to

Institutional performance contract

National performance-based research assessment

Strategic programme or other policy initiative

None of the above

Penalties and rewards associated to performance

Financial penalties

Bonuses and incentives

None of the above Funding amount allocated for an average time-period of

3 years or less 4-6 years 7 years or more

10. Project grants for public research Facet Facet choices

Maximum grant duration

12 months or less

13-24 months

25-36 months

More than 36 months

Maximum amount of grant awarded in euros

Less than 100K

100K-500K

500K-1M

More than 1M

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Type of activity Basic research Applied research

Multidisciplinary research

Experimental development Demonstration / testing

Requires a form of collaboration No With other public research actors With industry partners

With international partners

With users of research outputs (e.g. technology, innovation) With other partners

Selection criteria Track record of applicant

Scientific impact anticipated Societal impact anticipated Commercial impact anticipated Third-party income and co-funding (e.g. contract research,

other grants) The participation of early-career researchers Geographical location (to promote regional or cluster policy) Social inclusion in research (e.g. women and other under-

represented groups) Alignment with national research priorities

Other

Type(s) of proposal screening

Internal: review by grant manager (i.e. funding agency)

External peer review: including members of the scientific community

External peer review: including business society representatives

External peer review: including research users and stakeholders

Experimental methods (e.g. lotteries, sandboxes) Success rate (share of grants awarded as a % of total applications)

Too early to estimate

Less than 10%

10-19%

20-29%

30-39%%

40% or higher

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11. Grants for business R&D and innovation Facet Facet choices

Maximum grant duration

12 months or less

13-24 months

25-36 months

More than 36 months

Maximum amount of grant awarded in euros

Less than 100K

100K-500K

500K-1M

More than 1M

Type of activity Basic research Applied research

Experimental development

Non-technological innovation

Demonstration / testing

Requires a form of collaboration No With higher education institutes or public research institutes With industry partners

With SMEs

With international partners

With intermediaries (e.g. accelerators)

With users of R&D or innovation outputs With other partners

Selection criteria Track record of applicant Feasibility of project Anticipated return on investment Societal impact anticipated Geographical location (to promote regional or cluster policy) Social inclusion (e.g. women and other under-represented groups)

Alignment with national strategic priorities (e.g. targeted business sectors and technologies)

Other Contribution (e.g. matching funds) required from beneficiary

Yes No

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12. Centres of excellence grants Facet Facet choices

Maximum duration of funding for individual unit/centre

5 years or less 6-10 years More than 10 years

Indefinite Share of public funding (as a % of total funding of the centre of excellence)

100%

90-99%

70-89%

50-69%

Less than 50%

Focus Field of science Key technology (basic research) Key technology (commercial applications) Promoting early-stage researchers

Enhanced access to research results and research data Networking/co-operation (e.g. science-industry) Recruiting foreign researchers and other international linkages Societal challenge(s) Sharing equipment and infrastructures

Demonstration and testing facilities

Criteria for funding

Alignment to national research priorities

Result of a national performance-based assessment

Novelty of research or its application Existing research capacity

Track record

Scientific impact anticipated

Commercial impact anticipated

Societal impact anticipated Ability for the centre to acquire additional funds Structural inclusion of beneficiaries in host institutes

Requires a form of collaborative research

No

Science-science

Science-industry

Industry-industry

Other

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Ownership of Intellectual Property (IP) stemming from science-industry research

No IP registered

Some IP owned exclusively by the public sector

Some IP owned exclusively by the private sector

Some IP co-owned between public and private actors

Not applicable

Penalties and rewards associated to performance

Financial penalties

Bonuses and incentives

None of the above

13. Procurement programmes for R&D and innovation Facet Facet choices

Type of programme Reform of regulatory conditions for innovation procurement

Improving the capacity and competence of the innovation procurement process

Dedicated innovation procurement fund

Dedicated R&D procurement fund

Other

R&D/innovation objective(s)

None specified

Create demand for technology or innovative products and services

Promote specific research priorities

Help innovators bridge the pre-commercialisation gap Facilitate access to private third-party funding by providing preliminary

financial support Tackle societal or environmental challenges

Support innovative SMEs, researchers or other programme beneficiaries

Other

Programme focus

No specific focus Public sector innovation Promote science-industry cooperation Support innovative SMEs Green growth Strategic business sector Strategic technology Societal challenges Other

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14. Fellowships and postgraduate loans and scholarships Facet Facet choices

Type of financial assistance Repayable Non-repayable

Type of individual sponsored Master student Doctoral student Post-doctoral researcher

Established researcher

Promotes international mobility of students and researchers

Outgoing Incoming Both outgoing and incoming No

Promotes intersectoral mobility (e.g. between the academic and private sectors)

From academia to the private sector From the private sector to academia

No

15. Loans and credits for innovation in firms Facet Facet choices

Average term 1-3 years 4-6 years 7-9 years 10 years or more

Type(s) of finance targeted Working capital Financing expansion Investing in innovation Other

Specific loan/credit objective(s)

None specified

Developing new products and processes

Upgrading an existing product or process

Acquiring a technology

Other

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Mechanisms used Loan with a subsidised interest rate Loan to be reimbursed in case of success Equity-backed loan Other

16. Equity financing Facet Facet choices

Type of financing Venture capital (growth and late stage) Seed capital (early stage)

Other

Mechanism(s) Fund Tax incentives

Regulatory framework Other

Type of fund

None Direct public equity fund Fund-of-funds Co-investment fund Other

Focus

None

Support innovative start-ups and SMEs Attract international entrepreneurs Support access to international markets Foster public research spin-offs

Social entrepreneurship Other

17. Innovation vouchers Facet Facet choices

Minimum voucher amount Less than 2K EUR 2K-6K EUR 6K-10K EUR More than 10K EUR Varies depending on conditions

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Maximum voucher amount

Less than 2K EUR

2K-6K EUR

6K-10K EUR

More than 10K EUR

Varies depending on conditions

Eligibility criteria Firm is registered in the country Firm size

Firm has not received more than a certain amount of public aid over a defined period of time

Firm has not entered in any commitments with the knowledge provider that will carry out the project

Knowledge provider is certified

Exporting firm

Type of knowledge provider Higher education institutes Public research institutes

Private business Other

Brokerage services are provided Yes No

Contribution (e.g. matching funds) required from recipient Yes No

Possible to pool vouchers from several firms

Yes

No

INDIRECT FINANCIAL SUPPORT

18. Corporate tax relief for R&D and innovation Facet Facet choices

Applicable provisions (i.e. eligible expenses) Expenditures on R&D Expenditures on other innovation activities Expenditures on training and upskilling of employees Incomes from IP licensing or asset disposal

1. Note: NESTI already provides detailed information on tax relief instruments. The Secretariat plans to integrate this data into STIP Compass and display it where appropriate.

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19. Tax relief for individuals supporting R&D and innovation Facet Facet choices

Applicable provisions (i.e. eligible expenses) Donations to public research activities

Investments in start-ups and SMEs

Other

20. Debt guarantees and risk sharing schemes Facet Facet choices

Scheme managed by Government Private sector Other

Type(s) of finance targeted Working capital Financing expansion Investing in innovation Other

Specific loan/credit objective(s)

None specified

Developing new products and processes

Upgrading an existing product or process

Acquiring a technology

Other

Claims rate (latest estimate) Too early to estimate less than 1% 1-2% 3-5% More than 5%

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COLLABORATIVE INFRASTRUCTURES (SOFT AND PHYSICAL)

21. Networking and collaborative platforms Facet Facet choices

Focus Business innovation-oriented Technology-oriented Geographic clustering

Research-oriented

Education-oriented

Building international linkages

Addressing societal or environmental challenges

Other Share of the platform’s funding coming from the private sector (as a % of total funding)

More than 75%

51-75%

26-50%

1-25%

0%

Exchanges take place via Online platform Meetings and events

Sharing infrastructures or facilities

Mobility of personnel, researchers or students

Other

Objective(s)

Promote economic growth (e.g. productivity, competitiveness)

Promote business partnerships (e.g. consortia-building)

Promote research partnerships

Define research priorities Coordinate R&D developments

Share R&D data

Coordinate on intellectual property practices (e.g. co-patenting and licensing)

Set standards Demonstrate technological developments and innovations Foster fundraising and investor networking

Other

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Ownership of IP stemming from science-industry research

No IP registered

Some IP owned exclusively by the public sector

Some IP owned exclusively by the private sector

Some IP co-owned between public and private actors

Not applicable

22. Dedicated support to research infrastructures Facet Facet choices

Main focus of support

National infrastructure(s)

International infrastructure(s)

Objective(s)

Address national research priorities

Support the internationalisation of public research

Promote partnerships among HEIs/PRIs

Foster science-industry collaboration

Address societal or environmental challenges

Promote regional or cluster policy

Other

Funding used for Acquiring major scientific equipment

Building new facilities

Renewing or modernising existing facilities

Increasing user access to infrastructure

Gaining access to existing international infrastructures

Hiring research and technical staff

Training research and technical staff Building knowledge repositories of scientific data and archives Building computing systems and virtual infrastructures

Other

23. Information services and access to datasets Facet Facet choices

Openness Publicly available Restricted access

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Type of data disseminated

Data collected through the provision of public services (administrative data) (e.g. medical data of patients)

Job postings

Information on STI actors (e.g. researcher resumes, profiles of firms, research groups and institutes)

Academic articles and other types of scientific production

Intellectual property registries (e.g. patent databases) Research results and raw research data Information on grants, scholarships and other types of government

support

Directory of firms, investors, R&D institutes and other types of STI actors

Guidelines

Crowdfunding initiatives Other

GUIDANCE, REGULATION AND OTHER INCENTIVES

24. Technology extension and business advisory services

Services provided by

Higher education institutes

Public research institutes Public body from national government Public body from regional or local government

Private consultants and business experts

Intermediaries (e.g. technology transfer offices, incubators) Other

Modality

Consultancy

Training

Networking with investors, clients, suppliers, etc.

Other

│ 28

Type of advisory service

Intellectual property protection (e.g. filing and litigation)

Intellectual property commercialisation (e.g. licensing and royalty agreements)

Support the adoption of existing technologies

Implement technology best practices or support meeting national or international standards

Quality management and process efficiency

Environmental impacts and energy use

Human resource development

Product development

Support to drafting applications for grants and other policy instruments

Support to business plan preparations

Marketing (including market research)

Fundraising

Export promotion Other

25. Emerging technology regulation Facet Facet choices

Role of government Market regulator (e.g. antitrust law) Technology/innovation enabler (e.g. interoperability standards)

Risk mitigation (e.g. consumer and social protection)

Deliverer of public services (e.g. requirements in procurement, education)

Protector of public values

Challenge(s) addressed

Risks to human safety

Environmental sustainability

Privacy protection

Social disruption (e.g. job insecurity)

Unethical use (e.g. discrimination)

Security (e.g. dual-use technologies)

Limited competition (e.g. monopolies, oligopolies)

Other

Type(s) of regulation

Formal law or regulation

International agreement

Self-regulation (e.g. codes of conduct, scientific advice, standards)

Regulatory experiments (e.g. sandboxes)

Other

Regulatory approach

Technology or input-based regulation (e.g. moratoria, standards of use)

Performance or output-based regulation (e.g. safety thresholds)

│ 29

Level of governance

Local

Regional

National

International

Approach to monitor compliance

The regulator develops and maintains technologies for data collection, transmission and/or analytics

Regulated parties are incentivised to adopt monitoring technology that is not managed by the regulator

Regulated parties are simply required to share compliance data (no regulator support)

26. Labour mobility regulation and incentives Facet Facet choices

Type of mobility Intersectoral (public to private sector or vice-versa) International

Within country Programme objective(s) Promote international knowledge flows

Attract back diaspora (e.g. emigrating talent)

Attract foreign talent

Build industry-science linkages

Promote research excellence

Improve performance of host institutes/firms

Other

Mechanism

Regulatory (e.g. immigration legislation and quotas)

Guidelines

Service or information (e.g. web portal)

Economic (e.g. salary subsidy)

Networking (e.g. coordinating staff exchange)

Other

Portion of salary subsidised by the instrument No Less than 40% 40-80% More than 80%

Average duration of salary subsidy

Not applicable No subsidy less than 6 months 6-18 months More than 18 months

│ 30

Screening scheme

Not applicable Employer-led Government-led (e.g. points based) Hybrid (government and employer)

Intended mobility destination

None specified Higher education institutes Public research institutes Private research and development labs Firms Other

27. Intellectual property regulation and incentives Facet Facet choices

Mechanism(s)

Legislation Streamlined administrative procedures Intellectual property regime reform (e.g. patent law) Subsidies for intellectual property operations (e.g. filing and

renewal costs)

Supporting IPR clinic services (e.g. consultancies and guidance)

Training

Data dissemination (e.g. patent registries)

Awareness campaigns

Other

Area(s) of the intellectual property system promoted Registration and ownership Commercialisation (e.g. licensing) Enforcement Litigation Internationalisation

Type(s) of intellectual property promoted Patents Copyrights Trademarks Industrial designs Utility models Geographical indications Open source Other

│ 31

28. Science and innovation challenges, prizes and awards Facet Facet choices

Selection type Ex-ante (based on a solution to a proposed challenge) Ex-post (based on a scientific achievement or developed innovation)

Type of challenge Health Ageing population Social inclusion Food security

Energy security

Climate change

Environmental sustainability

Research challenge, i.e. centred on a specific domain of science or technology

Business challenge, i.e. centred on a specific market need

Other

Type of reward

Monetary

Honorific (e.g. label, recognition)

Exposure to a network of investors

Provision of business innovation and technology advice

Other